10 compliance issues financial-planning practices face

02/28/2011 | AdvisorOne

This article names 10 compliance issues financial-planning practices must consider this year. "Make 2011 the year that you undertake a real review of the adequacy of your compliance processes, disclosure statement, advisory agreements and preparedness for a regulatory examination," writes Thomas D. Giachetti, chairman of the Securities Practice Group of the law firm Stark & Stark. AICPA PFP members, access the CPA and PFS descriptions for Form ADV Part 2 here. For other legislative and regulatory news, visit aicpa.org/PFP/advocacy.

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